制度环境、制度绩效与公共服务市场化:一个分析框架

Institutional Environments, Institutional Performance and Public Service Marketization:An Analytic Framework

作为一种公共服务的供给机制,在新公共管理的背景之下,公共服务市场化成为替代官僚制的重要备择制度安排,所以研究公共服务市场化的制度绩效对于理解这一制度安排的有效性具有非常重要的意义。原有的对于公共服务市场化的研究主要围绕"环境条件—制度安排"以及"制度安排—制度绩效"展开,在环境条件—制度绩效之间存在重要的断裂。基于此,在新制度主义经济学以及制度分析框架的基础上,本文构建了一个理解制度环境—制度绩效的理论框架,解释嵌入在不同制度环境中,具有相似属性的公共服务在市场化过程中面临的迥异的绩效命运。同时,在该框架基础之上,通过对13个公共服务市场化案例的经验展示,对制度环境影响制度绩效的机制进行了详细说明。结果发现,政治制度环境中权力结构的开放程度和产权体系的完备程度,以及社会制度环境中结构性社会资本和认知性社会资本的丰富程度是理解制度绩效的关键。一旦公共服务的市场化制度安排被高权力开放程度、高产权体系完备程度、丰富的结构性社会资本和认知性社会资本的制度环境所包绕,其制度绩效会更高。

As a public service delivery mechanism, in the background of New Public Management, public service marketization has been one of the most important alternative institutional arrangements for replacement of bureaucracy, sostudying the institutional performance of public service marketization is very important for understanding the efficiency of the institutional arrangement. Previous research of public service marketization is surrounded by two subjects,‘ environmentalconditions and institutional arrangements 'and‘ institutional arrangements and institutional performance ', but there is a deep gap between environmental conditions and institutional performance. On the basis of new institutional economic and institutional framework, this paper constructs a framework of institutional environments and institutional performance to explain why in the different nations/districts, marketization of public service with the same attribute has the different performance. Under the analytic framework, through the exhibition of 13 public service privatization cases' experience, this paper explicitly defines the mechanisms through which institutional environment influences the institutional performance. The results show that the key factors influencing the institutional performance of public service marketization are political institutional environments(dimensioned as power structure and property rights system) and social institutional environments(dimensioned as structural social capital and cognitive social capital). Oncepublic ser-vice marketizationis embedded in the institutional environments with high levels of power openness, property rights completeness, abundant structural social capital and cognitive social capital, the institutional performance will be better.